REQUIREMENTS FOR CERTIFICATION CONSTRUCTION CONTRACTING. [ ] General Contractor - Lic. # Class. [ ] Special Trades - Lic. # [ ] Subcontractor

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1 THE NAVAJO NATION RUSSELL BEGAYE PRESIDENT JONATHAN NEZ VICE PRESIDENT REQUIREMENTS FOR CERTIFICATION CONSTRUCTION CONTRACTING 1. A. Application: [ ] [ ] General Contractor - Lic. # Class. [ ] Special Trades - Lic. # [ ] Subcontractor Required documents based on business structure (i.e., Partnership, Corporation, Joint Venture, LLC) - Refer to applicable section in Certification Application 2. IRS Identification No./Social Security No. 3. Resume' of Owner(s) Include Business Experience, Personal Information, Education, Military Service (If Applicable) & References (Professional and Personal) 4. List of Past Projects (Include Owner, Completion Date & Amount of Project) 5. Financial Statement in Company's Name (Must be Notarized) 6. Organizational Chart 7. Duties & Responsibilities of Owner(s) or Top Echelon 8. Certificate of Indian Blood 9. Business Plan Please attach all Supporting Documents to your application.

2 THE NAVAJO NATION RUSSELL BEGAYE PRESIDENT JONATHAN NEZ VICE PRESIDENT NAVAJO BUSINESS OPPORTUNITY ACT PRIORITY CERTIFICATION CONSTRUCTION CONTRACTING BUSINESS REGULATORY DEPARTMENT DISCLAIMER The purpose of the Navajo Business Opportunity Act priority certification is to determine if an entity is eligible for priority preference and to allow those certified entities priority preference when submitting bids and/or proposals in the procurement of services and/or goods. Priority certification does not guarantee that the certified entities are deemed responsive and/or responsible to provide the particular services and/or goods required of/by the contract letting entity. Priority certification of an entity is limited to the activities listed as goods and/or services in section G.9. The Business Regulatory Department, Navajo Nation does not warrant or assume any legal liability or responsibility for the accuracy, completeness, or usefulness of any information disclosed in this application. By initialing in the space provided, I understand and accept the Business Regulatory Department s Disclaimer Statement.

3 THE NAVAJO NATION RUSSELL BEGAYE PRESIDENT JONATHAN NEZ VICE PRESIDENT NAVAJO BUSINESS OPPORTUNITY ACT PRIORITY CERTIFICATION for CONSTRUCTION CONTRACTING NOTE: 1. Application must be typewritten or printed legibly. 2. Application and all Attachments must be Originals. 3. Any Incomplete Application will be returned. Date: PART A. GENERAL INFORMATION (PROVIDE INFORMATION TO BE LISTED ON THE WEBSITE) LEGAL BUSINESS NAME: (Legal Name under which the Contracting Business is to be conducted) MAILING ADDRESS: (Street or P.O. Box) (City) (State) (Zip) PRINCIPAL PLACE OF BUSINESS: (Physical Location) CONTACT PERSON: (Owner(s) or 51% Principals) ADDRESS(Optional) : TELEPHONE NUMBER: ( ) CELLULAR TELEPHONE NUMBER: ( ) FAX NUMBER: ( ) Applicant Intends to do Business As: Sole Owner; Complete Part B Partnership (Limited or Uniform); Complete Part C Corporation; Complete Part D Limited Liability Company; Complete Part E Joint Venture; Complete Part F

4 Page Two (2) PART B. SOLE OWNERSHIP B.1. Give the name and address of the SOLE OWNER of the FIRM and indicate whether he/she is Navajo Indian (N), or Other Indian (OI). If Other Indian, list name of Tribe. Social Security # Enrollment Status Name and Address and EIN # Census No. (N, OI) (Attach copy of Certificate of Indian Blood) If additional space is required, please attach all information on a separate sheet and entitle it Part B.1. Continuation. B.2. Attach any documents you may have that establish the ownership of your firm. (i.e., state license, city license, 8a certification)

5 Page Three (3) PART C. PARTNERSHIP (Limited Partnership 5 N.N.C. 4100; Uniform Partnership 5 N.N.C. 3800) C.1. C.2. C.3. In which State is your firm registered? Date Registered: Please attach the Partnership Agreement (Limited) OR Partnership Statement (Uniform) and any amendments thereof, the Certificate of Limited Partnership (Limited) OR Statement of Partnership Authority (Uniform), By-Laws (optional) and Certificate of Good Standing. Is the Partnership (Limited or Uniform) registered with the Navajo Nation?. If YES, please attach the Partnership Agreement (Limited) OR Partnership Statement (Uniform) and any amendments thereof, the Certificate of Limited Partnership (Limited) OR Statement of Partnership Authority (Uniform), By-Laws (optional) and Certificate of Good Standing. If NO, please note that it is a requirement that a partnership must be registered with the Navajo Nation, 5 N.N.C (Limited) or 5 N.N.C (Uniform). Provide the names and addresses of the PARTNERS of this FIRM and indicate whether they are Navajo Indian (N), Other Indian (OI), or Non-Indian (NI) in the spaces below. If Other Indian, list name of Tribe. Attach a copy of Certificate of Indian Blood for all Navajo/Other Indian Partners. To qualify for Priority Certification, firms applying as PARTNERSHIP status must be at least 51% Navajo or Other Indian owned and controlled. Social Enrollment Status % Ownership Name and Address Security # Title Census No (N,OI,NI) Control 1) (Tribe) 2) (Tribe) If additional space is required, please attach all information on a separate sheet and entitle it Part C.3. Continuation. C.4. Required documents include Partnership Agreement.

6 Page Four (4) PART D. CORPORATION (5 N.N.C. 3100) D.1. D.2. D.3. In which State is your firm incorporated? Date Incorporated: Please attach the Articles of Incorporation and any amendments thereof, the Certificate of Incorporation, By-Laws (optional) and Certificate of Good Standing. Is the Corporation registered with the Navajo Nation?. If YES, please attach the Articles of Incorporation and any amendments thereof, the Certificate of Incorporation, By-Laws (optional) and Certificate of Good Standing. If NO, please note that it is a requirement that a corporation must be registered with the Navajo Nation, 5 N.N.C List the names and address of all DIRECTORS and OFFICERS of the CORPORATION. Indicate if they are Navajo or Other Indian. Attach a copy of Certificate of Indian Blood for all Navajo/Other Indian Directors and Officers. To qualify for Priority Certification, 51% or more stocks/shares must be held by Navajos and/or Other Indians. Tribal Percentage (%) of Office Name/Addresses Affiliation Stock/Share Owned President Vice-President Secretary Treasurer Director Director Director D.4. The number of Shares/Stocks Authorized Common Stock/Share issued Preferred Stock/Share issued Unissued Stock/Share TOTAL STOCK/SHARE AUTHORIZED

7 Page Five (5) PART E. LIMITED LIABILITY COMPANY (LLC) (5 N.N.C. 3600) E.1. E.2. E.3. In which State is your firm registered? Date Registered: Please attach the Articles of Organization and any amendments thereof, the Operating Agreement, Certificate of Good Standing and/or By-Laws (optional). Is the LLC registered with the Navajo Nation?. If YES, please attach the Articles of Organization and any amendments thereof, the Operating Agreement, Certificate of Good Standing, and/or By-Laws (optional). If NO, please note that it is a requirement that a LLC must be registered with the Navajo Nation, 5 N.N.C List the names and address of all MANAGERS and MEMBERS of the LIMITED LIABILITY COMPANY (LLC). Indicate if they are Navajo or Other Indian. Attach a copy of Certificate of Indian Blood for all Navajo/Other Indian Managers and Members. To qualify for Priority Certification, 51% or more interests must be held by Navajos and/or Other Indians. Tribal Percentage (%) Office Name/Addresses Affiliation of Interest Manager s Manager s Manager s Manager s Member s Member s Member s Member s E.4. Is the LLC manager managed OR member managed OR manager-member managed?

8 Page Six (6) PART F. JOINT VENTURES To qualify for Priority Certification, firms applying as JOINT VENTURE status must be at least 51% Navajo or Other Indian owned and controlled. Attach a copy of Certificate of Indian Blood for all Navajo/Other Indian party. F.1. F.2. Full disclosure is required of all Joint Ventures. Attach a certified copy of the complete Joint Venture Agreement, including any amendments thereof. Is the Navajo or Other Indian Party in the Joint Venture currently certified with the Business Regulatory Department? Yes No If YES, provide the name of the Business and Certification Number: F.3 Is the Non-Indian Party Registered as a Corporation, Limited Liability Company, Limited Partnership OR Uniform Partnership? Yes No If YES, complete Part C, D OR E of the Application. Name of Non-Indian Company Principal Officer Telephone_ Mailing Address F.4. F.5. F.6. F.7. F.8. Joint Venture Bonding Capability? Yes No Attach notarized Financial Statements for all parties of the Joint Venture which must have been prepared three months prior to application date. This must be similar to the form attached to this application (Exhibit A). Monetary allowance for Administration (recording, support staff, office facilities and equipment, etc.) Management: Managing Party Monetary Allowance (Percentage) Monetary allowance for Construction Management: Managing Party Monetary Allowance (Percentage) Attach a list of equipment to be furnished by each Joint Venture party and specify the allowance of the use of the equipment. Specify if the equipment is owned or leased.

9 Page Seven (7) PART G. TO BE COMPLETED BY ALL APPLICANTS G.1. G.2. Attach an Organizational Chart and indicate all upper level management positions with names, titles, and indicate if Navajo/Other Indian or Non-Indian and describe the functions of the branches of the organization. Provide resumes of upper level management positions. Is this FIRM currently a State (AZ, NM, UT, or Other) Licensed Contractor? Yes No (Please attach a copy of Contractor s License) If Yes, (i) State License in: (ii) Classification(s) Held: (iii) License Number: (iv) Qualifying Party: G.3. Does your Firm have Bonding Capability? Yes No If YES, (i) Provide the Name and Address of your Bonding Company or other Completion Surety Agency: (ii) Type of Bonding and Level of Bonding Capabilities: G.4. Attach a Current Financial Statement, which must not be older than three (3) months. (If Joint Venture, provide current Financial Statements for all Parties). The Financial Statement must be similar to the attached form (Exhibit A). G.5. Employment Breakdown of the Firm: Number of Navajo Workers Number of Other Indian Workers Number of Non-Indian Workers TOTAL WORKFORCE Describe your method of Recruiting Human Resources G.6. Describe the physical location of your business establishment(s). (Main Office, warehouse, and inventory available at the site).

10 Page Eight (8) G.7. G.8. G.9. Attach a list of all projects for the last two (2) years and dollar amounts for each. Use the attached form or similar form (Exhibit B). Has your company ever filed for Bankruptcy before? Yes No If yes, please explain Concisely (60 words or less) describe the type of goods and/or services your firm can provide to projects throughout the Navajo Nation with your own employees and equipment, rather than by subcontract. NOTE: Priority Certification and Certificate Issuance will be limited to these activities listed as goods and/or services. (DO NOT STATE See Business Plan, attachment or Insert PART H. CERTIFICATION By signing below, I certify and attest that all information contained herein is complete, true and correct. I further understand that the Business Regulatory Department, Division of Economic Development must give its approval before this Navajo or Other Indian owned and controlled firm can be considered or accepted as a Certified Priority firm for project(s) within the exterior boundaries of the Navajo Nation. I further understand that the certification is only valid for one (1) year. SIGNATURES OF OWNERS, PARTNERS, OFFICERS, MEMBERS, MANAGERS OF THE BUSINESS Date: Date: Date: Date: Title Title Title Title_